As a member of the European Securities and Markets Authority (ESMA) and of the International Organization of Securities Commissions (IOSCO), the CNMV regularly receives alerts issued by foreign securities regulators on companies that are not authorised to provide investment services in the countries listed in the alerts.

This page lists alerts shared with the CNMV directly by other countries´ supervisory bodies or transmitted centrally through the ESMA. However, we are unable to list on this page alerts transmitted by supervisory bodies to IOSCO. We therefore recommend that you also check out the following webpage: Investor Alerts Portal

The CNMV warns that the information on this page has been provided by foreign supervisory bodies, which assume responsibility for the contents of such information.

Search for warnings on companies whose names start with

Click the heading of the "Date" column or of the "Targeted companies" column to sort results in ascending/descending order.

Page 6 out of 1191
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
03/05/2017
  • FDS RESEARCH GROUP
  • WWW.FDSRESEARCH.COM
A warning PDF of date 03/05/2017 (new window) SFSA (SUECIA) 
11/05/2011
  • WOLF INVESTMENT SOLUTIONS
  • WWW.WOLD-INVESTSOL.COM
A warning PDF of date 11/05/2011 (new window) SFSA (SUECIA) 
04/05/2011
  • SHAFFER LIENHARD AND BEIJING MERCANTILE EXCHANGE, BEMEX
  • WWW.SHAFFER-LIENHARD.COM
A warning PDF of date 04/05/2011 (new window) SFSA (SUECIA) 
27/08/2014
  • CLIFTON CAPITAL PARTNERS LLC
A warning PDF of date 27/08/2014 (new window) SFSA (SUECIA) 
11/10/2006
  • LIBERTY ASSET MANAGEMENT
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 
26/04/2017
  • MWI CONSULTANTS
  • WWW.MWICONSULTANTS.COM
A warning PDF of date 26/04/2017 (new window) SFSA (SUECIA) 
11/10/2006
  • GOLDMAN ASSET MANAGEMENT
  • WWW.GOLDMANAM.COM
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 
20/04/2011
  • NEW OUTLOOK MANAGEMENT GROUP
  • WWW.NEWOUTLOOKMG.COM
A warning PDF of date 20/04/2011 (new window) SFSA (SUECIA) 
13/12/2006
  • FITZWILLIAM GROUP LIMITED
  • WWW.FITZWILLIAMGROUP.COM
A warning PDF of date 13/12/2006 (new window) SFSA (SUECIA) 
16/07/2014
  • SPRINGER ASSET MANGEMENT
A warning PDF of date 16/07/2014 (new window) SFSA (SUECIA) 

Consultation criteria: By type unauthorised entities.